Insights

Title Date Associated Professionals
Vorley Wire Fraud Ruling Inconsistent with Precedent and the Commodity Exchange Act 1/28/2020 By Michael L. Spafford, Daren F. Stanaway, Katherine J. Berris
A Failure to Supervise: The SEC Casts a Shadow Over Internal Investigations 4/2/2019 By John P. Nowak, Thomas A. Zaccaro, Katherine K. Solomon,
A New Enforcement Agency Joins the World of International Corruption Enforcement: CFTC Announces New Initiative Covering Companies Involved in Foreign Corrupt Practices 3/13/2019 By Nathaniel Edmonds, Tara K. Giunta, Michael L. Spafford, Daren F. Stanaway
ABA Releases White Paper Regarding Cryptocurrencies and Digital Assets 3/19/2019 By Michael L. Spafford, Daren F. Stanaway
Against the Backdrop of a ‘National Emergency,’ Are Opioid Cos. Ready for the Enforcement Spotlight? 9/6/2017 By Gary Giampetruzzi, Jane H. Yoon & Sandra González
An Executive’s Guide to Defeating the SOX 304 Clawback (Part 2) 3/27/2017 By Michael Spafford, Neil Torpey, Amy Carpenter-Holmes & Joanne Joseph
An Executive’s Guide to Defeating the SOX 304 Clawback (Part I) 3/27/2017 By Michael Spafford, Neil Torpey, Amy Carpenter-Holmes & Joanne Joseph
Another Life Sciences Company Gets Hit Hard: Olympus Pays $646M to Resolve Corruption Allegations in a Unique Dual FCA / FCPA Resolution 3/28/2016 By Gary Giampetruzzi, Tara Ravi & Zachary Zwillinger
Anticorruption Concerns in the Life Sciences Sector 5/15/2013 BY TARA GIUNTA
Anticorruption Enforcement 5/27/2013 BY NATHANIEL EDMONDS
Appellate Court Clarifies FCPA "Instrumentality" Definition 5/19/2014 BY TARA K. GIUNTA, NATHANIEL EDMONDS, MOR WETZLER & IAN HERBERT
Attempting to Fix the "Broken Windows": Recent SEC Enforcement Action Targets Routine Disclosure Obligations of Public Corporations and Their Insiders 10/10/2014 BY THE INVESTIGATIONS AND WHITE COLLAR DEFENSE PRACTICE
Avoiding FIFA’s Footsteps 4/22/2016 By Eric H. Sussman and Cynthia Catlett (Managing Director, Global Risk and Investigations, FTI Consulting)
Blockchain and Cryptocurrencies: A Cross-Border Conundrum 1/28/2019 Michael L. Spafford, Daren F. Stanaway, and Sabin Chung
Calm Before the Storm: Financial Institutions Should Expect a Wave of Civil and Criminal Investigations Following the Next Panama Papers Release 4/29/2016 By Amy Carpenter-Holmes & Alexandra Anderson
Caution Here: The New Iran Nuclear Accord and the Temporary Easing of Sanctions Do Not (Yet) Mean that Sunny Relations Lie Ahead 11/25/2013 BY SCOTT M. FLICKER & DEVON E. WINKLES
CFTC Action Against Kraft May Be an Important Early Test of CFTC’s New Anti-Fraud Authority 4/15/2015 BY MICHAEL L. SPAFFORD, BUB WINDLE & ANNIE CRAIG
CFTC Action Against Kraft May Be an Important Early Test of New Anti-Fraud Authority, Part 2 12/10/2015 By Michael Spafford & J. Bub Windle
CFTC and SEC Charge Foreign Trading Platform Transacting in Security-Based Swaps and Commodity Futures with U.S. Investors 11/8/2019 Michael Spafford, Joyce Sophia Xu & Daren F. Stanaway
cGMP Enforcement and Compliance in the Wake of Rostholder 7/27/2015 BY ERIC SUSSMAN, TERRA REYNOLDS & CHRISTOPHER ALLEN
China Releases New Regulations on Donations to Healthcare Entities: Implications for Multinational Healthcare Companies 11/10/2015 By Ananda Martin, Haiyan Tang, Todd Zhou & Baker Chen
Confronting FCPA and Anti-Corruption Risk in China M&A Deals 6/17/2014 BY DAVID WANG, NATHANIEL EDMONDS, ANANDA MARTIN & JOHN TSO
Counterarguments to SEC Statistical Analysis in Enforcement Actions and Inquiries 2/13/2017 Nicolas Morgan & Tiago Duarte-Silva
DC Circuit Ruling confirms split on SEC's use of in-house judges 7/10/2017 Nicolas Morgan, Sam Puathasnanon, Thomas Zaccaro, and Kyle Jones
DOJ May Rely on FCPA Policy in Resolving Securities and Financial Fraud Cases 3/6/2018 By Investigations and White Collar Defense Group
DOJ’s FCPA Enforcement Plan Highlights the Need for Robust Anti-Corruption Compliance Programs 4/13/2016 By Nathaniel Edmonds, Morgan Heavener & Ian Herbert
DOJ’s New Focus on Corporate Executives: The Practical Effects 9/14/2015 By Kenneth M. Breen, John P. Nowak, Terra Reynolds & Christopher Allen
eDiscovery and Disclosure – Italy 3/6/2019
Ever Active and Perhaps Not So New—The SEC Awards Three Dodd-Frank Whistleblowers 6/9/2016 By Gary F. Giampetruzzi, S. Joy Dowdle, Lucy B. Jennings & Daniel F. Newman
Everything Old is New Again: Why the Yates Memo is Constitutionally Suspect 1/11/2016 By Paul Monnin & Eric D. Stolze
Expect More SEC Scrutiny of Defense Attorney Conduct 1/7/2014 BY THOMAS ZACCARO, KENNETH BREEN, & PHARA GUBERMAN
FCPA Declinations - How to Maximize Your Chance to Get a Pass When a Corruption Problem Occurs 5/29/2013 BY NATHANIEL EDMONDS, PALMINA M. FAVA, & MORGAN J. MILLER
First-of-its-kind Action by the SEC 4/4/2016 Thomas A. Zaccaro, Nicolas Morgan, and Peter Brejcha
France Adopts Legal Measures to Combat Corruption Consistent with International Standards 2/18/2016 By Philippe Bouchez El Ghozi & Clémence Auroy
Gift Giving and Insider Trading: The Supreme Court Rules in Government’s Favor in Significant Insider Trading Case 12/7/2016 By The Investigations and White Collar Defense & The Securities Litigation Practice Groups
Government Missteps Have Created Leverage For Corporations 6/21/2013 BY KIRBY BEHRE, CHRIS HARDJASA, & LAUREN BRIGGERMAN (Reprint of Law360)
Guidance on the U.S. Foreign Corrupt Practices Act from the Department of Justice and the Securities & Exchange Commission: The Key, as with the U.K. Bribery Act and the OECD Anti-Bribery Convention, Is a Robust Compliance Program 11/20/2012 BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Guideposts for Handling Corporate Investigations - ABA's Litigation Journal 4/15/2015 BY SAMUEL W. COOPER
HCP Roundtable Anyone? South Korea’s Ministry of Health and Welfare Imposes a $48 Million Fine on Novartis Korea and Suspends Insurance Reimbursement 5/8/2017 By Gary F. Giampetruzzi, Kwame J. Manley & Han Kyu Lee
High-Frequency Trading Firms in the Enforcement Crosshairs 12/12/2014 BY ERIC H. SUSSMAN, TERRA L. REYNOLDS, EMILY N. DILLINGHAM, CHRISTOPHER F. ALLEN & EMILY L. SEYMORE
How Broad Is the FCPAs Reach Over the Acts of Foreign Nationals? 3/20/2013 BY PALMINA M. FAVA & MOR WETZLER
Indicting a Foreign Company: Satisfying the Technical Requirements of Criminal Rule 4 by Resorting to the Civil Alter Ego Doctrine? 2/11/2013 BY THOMAS P. O'BRIEN, DANIEL PRINCE, & KATHRYN C. WANNER
Inside Out: The SEC Awards $1 Million Plus to Yet Another Compliance Professional Turned Whistleblower 5/6/2015 BY GARY F. GIAMPETRUZZI, S. JOY DOWDLE & LUCY B. JENNINGS
Insider Trading Cases: Likely to Be Litigated in 2013 and Beyond 4/11/2013 BY DOUGLAS KOFF & JOSHUA BENNETT
Insider Trading Questions Remain 12/8/2016 Thomas Zaccaro, Nicolas Morgan & Jenifer Q. Doan
International Guide to Money Laundering Law and Practice 5/16/2019 By Arun Srivastava
Landmark Conviction of High Frequency Trader: Assessing the Impact 1/8/2016 By Eric Sussman, Terra Reynolds, Christopher Allen, and Emily Seymore
Latest Antitrust Plea Shows Continuing Risks Foreign Executives Face From U.S. Government Investigations 11/24/2015 By Jong Han Kim, Jeremy Evans, Trisha Chang & Frank Lee
Legal Due Diligence in International M&A 1/5/2015 BY TIMOTHY A. MACKEY, MICHAEL L. SPAFFORD & BUB WINDLE
Legislative Reform of China’s Healthcare Sector Targets Corruption: Implications for Multinational Companies 8/28/2014 BY GARY GIAMPETRUZZI, ANANDA MARTIN, HAIYAN TANG & BAKER CHEN
Lessons Learned from Pfizers Settlement of FCPA Claims 8/27/2012 BY THE GLOBAL COMPLIANCE & DISPUTES PRACTICE
Libor Convictions Show Increasing Intersection of Antitrust and Fraud Investigations by U.S. Authorities 11/11/2015 By Jeremy P. Evans & Mike Spafford
Line in the Sand: What Actions Bring Foreign Nationals Within Reach of an FCPA Action 3/8/2013 BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Market Abuse Regulation - Investment Recommendations 10/31/2016 Lorenzo Parola & Francesco Falco
Neither A Whitewash Nor A Witch-Hunt Be: Reclaiming The Independence Of Internal Investigations 10/2/2006 By Michael Levy, Amy Carpenter-Holmes & Michael Spafford
New DOJ Task Force to Increase Detection of Collusion in Government Contracting 11/14/2019 By Michael Spafford, Scott Hataway & Noah Pinegar
New SEC Initiatives Focus on Financial Reporting and Microcap Stock Trading 7/5/2013 BY THE SECURITIES LITIGATION AND ENFORCEMENT PRACTICE
New York Legislature Sets Statute of Limitations for Martin Act Claims to Six Years 7/3/2019 By John P. Nowak, Anthony Antonelli & Jeanette Kang
Non-U.K. Companies to be Prosecuted for Failing to Prevent the Facilitation of Tax Evasion Anywhere in the World 7/28/2017 By Simon Airey
Not Finished With You Yet—The U.S. Government Extends its Deferred Prosecution Agreement With Biomet, Inc., Again Underscoring the FCPA Risks in Life Sciences 3/26/2015 BY GARY F. GIAMPETRUZZI, S. JOY DOWDLE & JENNIFER A. EBLING
Not Guilty, Again: Individual Corporate Liability in the Wake of the Reichel Acquittal 6/22/2016 By Gary Giampetruzzi, Terra Reynolds & Jahmila Williams
Part I of II—Not a U.S.-Fits-All-Proposition: Four Key Considerations When Building the Compliance Framework to Go Global with Patient Support 4/11/2019 By Gary A. Giampetruzzi, S. Joy Dowdle, Jessica Montes, Aisling Murray
Part II of II—Not a U.S.-Fits-All-Proposition: Four Key Considerations When Building the Compliance Framework to Go Global with Patient Support 4/17/2019 Gary F. Giampetruzzi, S. Joy Dowdle, Jessica R. Montes & Aisling Murray
Preparing for Shareholder Lawsuits When Dealing with Foreign Corrupt Practices Act Investigations 8/30/2013 BY SAMUEL W. COOPER, S. JOY DOWDLE, & CHRISTIE A. MATHIS
Private Fund Report—Summary of Key Developments—Spring 2016 7/14/2016 By The Investment Management, Private Investment Funds, Securities Litigation, Tax & Investigations and White Collar Defense Practices
Private Fund Report—Summary of Key Developments—Summer 2017 8/1/2017 By The Investment Management, Private Investment Funds, Securities Litigation, Tax & Investigations and White Collar Defense Practices
Q&A: What Disgorgement Means For You 9/25/2017 Nick Morgan
Quarterly FCPA Report: Fourth Quarter 2012 2/7/2013 BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Quarterly FCPA Report: Second Quarter 2012 7/20/2012 BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Recent Developments Strengthen Chinese Anti-Bribery Law 5/19/2016 By Ananda Martin, Haiyan Tang & Kevin Yang
Responding to Corporate Criminal Investigations 4/29/2013 BY KIRBY BEHRE & MORGAN MILLER
Review of China Deals in the U.S.: More, Broader, Stricter 2/3/2014 BY HAMILTON LOEB & SCOTT M. FLICKER
Ruling may encourage SEC to pursue broader theories 5/16/2019 By John Nowak
Salman V. US: Will It Change The 'Personal Benefit' Test? 8/3/2016 By Nicolas Morgan, Thomas Zaccaro, and Jenifer Doan
Sanctions Compliance Shortfalls Result in $1B Global Enforcement Action 4/11/2019 Kwame Manley, Scott Flicker, Lawrence Kaplan & Jeremy Steed
SEC ALJs Continue to Draw Scrutiny 7/22/2016 Nicolas Morgan, Thomas Zaccaro, and Peter Brejcha
SEC Disgorgement Issue Ripe For High Court Review 12/19/2016 Nicolas Morgan, Joshua Hamilton and Kyle Jones
SEC Easing of 'Accredited Investor' Restrictions: The Benefits 3/2/2017 Nick Morgan
SEC Enforcement Hammer Protects Whistleblowers 8/18/2016 By Thomas Zaccaro, Nicolas Morgan, John P. Nowak, and Kyle M. Jones
SEC Enforcement: Top 10 Developments Under Mary Jo White 6/4/2014 BY THOMAS A. ZACCARO, ELEANOR K. MERCADO, & NEIL J. SCHUMACHER
SEC Files First Whistleblower Retaliation Enforcement Action 6/20/2014 BY THE INVESTIGATIONS AND WHITE COLLAR DEFENSE GROUP
SEC Increases Enforcement Activity in 2014 11/11/2014 BY THOMAS A. ZACCARO, ELEANOR K. MERCADO & SARAH KELLY-KILGORE
SEC Requires Hedge Funds to Prevent Insider Trading Despite Unsettled Legal Definition 11/1/2016 By Nicolas Morgan, Thomas A. Zaccaro, Art Zwickel & Jenifer Q. Doan
SEC Sends a $30 Million-Plus Warning to Companies: Beware of the Foreign Whistleblower 9/30/2014 BY GARY GIAMPETRUZZI, JOY DOWDLE & LUCY JENNINGS
SEC Taking Hard Look at Private Equity 6/2/2016 Nicolas Morgan, Sam Puathasnanon, and Thomas Zaccaro
SEC Whistleblower Rules 1/28/2015 By Mark Pollack, Paul Monnin & Mor Wetzler
Second Circuit Decision Expands Insider Trading Liability 9/20/2017 By Thomas Zaccaro, Nicolas Morgan, Kenneth Breen, Douglas Flaum, John Nowak & Peter Brejcha
SEC's Guilt Admission Policy May Bring Pricey Trials 7/23/2013 BY THOMAS A. ZACCARO, EDWARD HAN, & RACHANA N. FISCHER
Supreme Court says SEC disgorgement is subject to 5-year limitations period 6/12/2017 Thomas Zaccaro, Nicolas Morgan, Peter Brejcha, and Kyle Jones
Take Two—The SEC Adopts Section 1504 Reporting Requirements for Payments to Governments by Oil, Gas, and Mining Companies 7/5/2016 Samuel W. Cooper, S. Joy Dowdle & Spencer D. Bruck
The Effects of the Supreme Court’s Lucia v. SEC Decision across Administrative Agencies 12/19/2018 Charles A. Patrizia, Michael L. Spafford , Igor V. Timofeyev, and Daren F. Stanaway
The European, Middle Eastern and African Investigations Review 2016 - Italy 7/12/2016 By Bruno Cova & Francesca Petronio
The Extraterritorial Reach of the Commodity Exchange Act in the Wake of Morrison and Dodd-Frank 7/3/2017 Michael L. Spafford and Daren F. Stanaway
The Federal Government’s Ability to Initiate Criminal Proceedings Against Foreign Corporations is About to Get Easier 5/16/2016 By Daniel Prince, Thomas P. O'Brien, Margaret N. Buckles, John P. Nowak & Phara A. Guberman
The Panama Papers Problem: Global Financial Institutions Face Increasing Liability for Clients’ Tax Evasion 5/2/2016 By Amy Carpenter-Holmes & Kenneth Gazzaway
The SEC Clears the Path for Investors as Potential Whistleblowers: Greater Scrutiny May Be on the Horizon During Regulatory Examinations 11/21/2019 Ira Kustin, John P. Nowak, Michael Spafford, Amanda Pober & Daren Stanaway
The SEC’s Relentless Focus on Cybersecurity: After WannaCry, Head of Enforcement Says Cybersecurity Is the Greatest Threat to the Industry 7/17/2017 Nicolas Morgan, Robert Silvers, and Adam M. Reich
The Second Circuit Vacates Citigroup Decision and Clarifies Standard of Review for SEC Consent Decrees 6/6/2014 BY THE INVESTIGATIONS AND WHITE COLLAR DEFENSE GROUP
The Seventh Circuit Curtails Early Appellate Review of Service of Criminal Process on Foreign Corporate Defendants 8/5/2015 By Stephen B. Kinnaird, Thomas P. O’Brien, Daniel Prince & Igor V. Timofeyev
The So-Called “Bribe Destroyer” Law on Corruption Adopted in Italy 1/25/2019 By Francesca Petronio, & Michele Piantanida
The Supreme Court Hears Oral Arguments on the Implied Certification Theory of False Claims Act Liability: Universal Health Services v. United States ex rel. Escobar 4/28/2016 By Thomas P. O’Brien, Daniel Prince, Igor V. Timofeyev, & James N. Rotstein
The Supreme Court’s Decision in Lorenzo: Laying the Groundwork for Expansive Theories of “Scheme Liability” Under the Securities Laws 4/9/2019 The Investigations and White Collar Defense Group, & the Securities Litigation Group
The U.S. Follows Through on Temporary Suspension of Sanctions, as Parties Continue to Negotiate Over Irans Nuclear Program 1/21/2014 BY SCOTT M. FLICKER
Time for Supreme Court to Weigh in on Scope of Dodd-Frank Act’s Anti-Retaliation Protection? 9/15/2015 By Kenneth W. Gage, Mark D. Pollack, Kelsey G. Van Wart
Top 5 Takeaways From the UK’s New Whistleblower Rules for Financial Services and Insurance Companies 10/13/2015 By The Workplace Retaliation and Whistleblower Defense and The Investigations and White Collar Defense Practice Groups
Top SEC Concerns in Public Company Financial Reporting to Watch in 2017 2/14/2017 Nicolas Morgan & Jean Chow-Callam
Trade Secrets Protection Continues to be a High Priority for Lawmakers: House Judiciary Committee Approves Bill Creating a Federal Civil Remedy for the Misappropriation of Trade Secrets 9/25/2014 BY THE INVESTIGATIONS AND WHITE COLLAR DEFENSE GROUP
U.S. Department of Justice May Leverage "Cooperation Credit" to Obtain Foreign-Based Evidence 11/23/2015 By Thomas P. O'Brien, Daniel Prince & Brian S. Kaewert
U.S. Switzerland Anti-Tax Evasion Agreement 6/4/2013 BY THOMAS P. O'BRIEN, DANIEL PRINCE, & STEPHEN TURANCHIK
U.S. Targets Russian Insiders President Obama Imposes Additional Sanctions in Response to Ukraine Crisis 3/18/2014 BY THE PAUL HASTINGS GLOBAL TRADE CONTROLS TEAM
Were Prosecutors Too Harsh on Matthew Keys? (Perspective) 8/17/2016 Thomas O'Brien and Brian Kaewert
What Comes Next? Against the Backdrop of the Yates Memo, Novartis Announces a $390M Healthcare Settlement 11/2/2015 By Gary F. Giampetruzzi, Terra L. Reynolds & Mor Wetzler
What You Need to Know About Insider Trading 11/18/2015 By Paul N. Monnin, Andrea J. Pearson & Eric D. Stolze
Whistleblower Award is a Bellwether 10/17/2013 BY THOMAS A. ZACCARO, ELEANOR K. MERCADO, & SARAH KELLY-KILGORE
White Collar Enforcement 5/17/2013 BY KENNETH BREEN & THOMAS ZACCARO
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers? 12/22/2016 Nicolas Morgan
Year in review: the SEC in 2016 1/23/2017 Nicolas Morgan, Sam Puathasnanon and Thomas Zaccaro

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